LEGG MASON WOOD WALKER, INCORPORATED
Legal name: LEGG MASON WOOD WALKER INC
CRD #6555 SEC #801-6767 BALTIMORE, MD 410-539-0000
SEC Registered Broker-Dealer
Total AUM
$9.1B
Discretionary
$4.2B
Employees
--
Clients
--
Accounts
17,298
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- MARCH
- Registration Date
- --
- Latest Filing
- Oct 10, 2005
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BRINKLEY, JAMES WELLONS | I | PRESIDENT, DIRECTOR | NA | Control |
| BRINKLEY, JAMES WELLONS | I | PRESIDENT, DIRECTOR | NA | Control |
| BRINKLEY, JAMES WELLONS | I | CHAIRMAN OF THE BOARD & DIRECTOR | NA | Control |
| BRINKLEY, JAMES WELLONS | I | CHAIRMAN OF THE BOARD & DIRECTOR | NA | Control |
| BRINKLEY, JAMES WELLONS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| DALEY, CHARLES JAMES JR | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DALEY, CHARLES JAMES JR | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DALEY, CHARLES JAMES JR | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DALEY, CHARLES JAMES JR | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DALEY, CHARLES JAMES JR | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DALEY, CHARLES JAMES JR | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DONOVAN, ROBERT GEORGE | I | CHIEF OPERATIONS OFFICER | NA | |
| DONOVAN, ROBERT GEORGE | I | CHIEF OPERATIONS OFFICER | NA | |
| HESSLEIN, LAURIE ANN | I | DIRECTOR | NA | Control |
| HIMELFARB, RICHARD JAY | I | DIRECTOR | NA | Control |
| HIMELFARB, RICHARD JAY | I | DIRECTOR | NA | Control |
| HIMELFARB, RICHARD JAY | I | DIRECTOR | NA | Control |
| MASON, RAYMOND ADAMS | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | NA | Control |
| MASON, RAYMOND ADAMS | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | NA | Control |
| MASON, RAYMOND ADAMS | I | CHAIRMAN OF THE BOARD | NA | Control |
| MCSHEA, GREGORY BURNS | I | COMPLIANCE REGISTERED OPTION PRINCIPAL | NA | |
| MCSHEA, GREGORY BURNS | I | COMPLIANCE REGISTERED OPTION PRINCIPAL | NA | |
| MORRIS, JOHN CHURCHILL | I | CHIEF OPERATION OFFICER | NA | Control |
| MORRIS, JOHN CHURCHILL | I | DIRECTOR | NA | Control |
| MULROY, THOMAS P | I | DIRECTOR | NA | Control |
| MULROY, THOMAS P | I | DIRECTOR | NA | Control |
| MULROY, THOMAS P | I | DIRECTOR | NA | Control |
| MULROY, THOMAS P | I | DIRECTOR | NA | Control |
| MULROY, THOMAS P | I | DIRECTOR | NA | Control |
| MULROY, THOMAS P | I | DIRECTOR | NA | Control |
| MULROY, THOMAS P | I | DIRECTOR | NA | Control |
| MULROY, THOMAS P | I | DIRECTOR | NA | Control |
| PATTERSON, ROBERT EDWARD | I | CHIEF LEGAL OFFICER ; CHIEF COMPLIANCE OFFICER | NA | |
| PATTERSON, ROBERT EDWARD | I | CHIEF LEGAL OFFICER ; CHIEF COMPLIANCE OFFICER | NA | |
| PATTERSON, ROBERT EDWARD | I | CHIEF LEGAL OFFICER | NA | |
| PATTERSON, ROBERT EDWARD | I | CHIEF LEGAL OFFICER | NA | |
| PATTERSON, ROBERT EDWARD | I | CHIEF LEGAL OFFICER ; CHIEF COMPLIANCE OFFICER | NA | |
| PATTERSON, ROBERT EDWARD | I | CHIEF LEGAL OFFICER ; CHIEF COMPLIANCE OFFICER | NA | |
| PATTERSON, ROBERT EDWARD | I | CHIEF LEGAL OFFICER ; CHIEF COMPLIANCE OFFICER | NA | |
| PATTERSON, ROBERT EDWARD | I | CHIEF LEGAL OFFICER ; CHIEF COMPLIANCE OFFICER | NA | |
| PEARL, JONATHAN MARK | I | SENIOR REGISTERED OPTION PRINCIPAL | NA | |
| PEARL, JONATHAN MARK | I | SENIOR REGISTERED OPTION PRINCIPAL | NA | |
| PEARL, JONATHAN MARK | I | SENIOR REGISTERED OPTION PRINCIPAL | NA | |
| PEARL, JONATHAN MARK | I | SENIOR REGISTERED OPTION PRINCIPAL | NA | |
| PEARL, JONATHAN MARK | I | SENIOR REGISTERED OPTION PRINCIPAL | NA | |
| PEARL, JONATHAN MARK | I | SENIOR REGISTERED OPTION PRINCIPAL | NA | |
| PEARL, JONATHAN MARK | I | SENIOR REGISTERED OPTION PRINCIPAL | NA | |
| PEARL, JONATHAN MARK | I | SENIOR REGISTERED OPTION PRINCIPAL | NA | |
| PEARL, JONATHAN MARK | I | SENIOR REGISTERED OPTION PRINCIPAL | NA | |
| PROCOPIO, ROCCO JR | I | COMPLIANCE REGISTERED OPTION PRINCIPAL | NA | |
| PROCOPIO, ROCCO JR | I | COMPLIANCE REGISTERED OPTION PRINCIPAL | NA | |
| PROCOPIO, ROCCO JR | I | COMPLIANCE REGISTERED OPTION PRINCIPAL | NA | |
| PROCOPIO, ROCCO JR | I | COMPLIANCE REGISTERED OPTION PRINCIPAL | NA | |
| PROCOPIO, ROCCO JR | I | COMPLIANCE REGISTERED OPTION PRINCIPAL | NA | |
| PROCOPIO, ROCCO JR | I | COMPLIANCE REGISTERED OPTION PRINCIPAL | NA | |
| PROCOPIO, ROCCO JR | I | COMPLIANCE REGISTERED OPTION PRINCIPAL | NA | |
| SABELHAUS, ROBERT GREGORY | I | DIRECTOR | NA | Control |
| SABELHAUS, ROBERT GREGORY | I | DIRECTOR | NA | Control |
| SABELHAUS, ROBERT GREGORY | I | DIRECTOR | NA | Control |
| SABELHAUS, ROBERT GREGORY | I | DIRECTOR | NA | Control |
| SABELHAUS, ROBERT GREGORY | I | DIRECTOR | NA | Control |
| SABELHAUS, ROBERT GREGORY | I | DIRECTOR | NA | Control |
| SABELHAUS, ROBERT GREGORY | I | CHIEF EXECUTIVE OFFICER & PRESIDENT | NA | Control |
| SABELHAUS, ROBERT GREGORY | I | DIRECTOR | NA | Control |
| SABELHAUS, ROBERT GREGORY | I | DIRECTOR | NA | Control |
| SCHEVE, TIMOTHY CHARLES | I | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | NA | Control |
| SCHEVE, TIMOTHY CHARLES | I | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | NA | Control |
| SCHEVE, TIMOTHY CHARLES | I | DIRECTOR | NA | Control |
| SCHEVE, TIMOTHY CHARLES | I | DIRECTOR | NA | Control |
| SCHEVE, TIMOTHY CHARLES | I | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | NA | Control |
| SCHEVE, TIMOTHY CHARLES | I | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | NA | Control |
| SCHEVE, TIMOTHY CHARLES | I | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | NA | Control |
| SCHEVE, TIMOTHY CHARLES | I | PRESIDENT | NA | Control |
| SOUDERS, THOMAS LEE | I | CHIEF FINANCIAL OFFICER | NA | |
| SOUDERS, THOMAS LEE | I | CHIEF FINANCIAL OFFICER | NA | |
| SULLIVAN, JOSEPH ANDREW | I | DIRECTOR | NA | Control |
| SULLIVAN, JOSEPH ANDREW | I | DIRECTOR | NA | Control |
| SULLIVAN, JOSEPH ANDREW | I | DIRECTOR | NA | Control |
| SULLIVAN, JOSEPH ANDREW | I | DIRECTOR | NA | Control |
| SULLIVAN, JOSEPH ANDREW | I | DIRECTOR | NA | Control |
| ULRICH, JOYCE LOUISE | I | CHIEF OPERATIONS OFFICER | NA | Control |
| ULRICH, JOYCE LOUISE | I | CHIEF OPERATIONS OFFICER | NA | Control |
| ULRICH, JOYCE LOUISE | I | CHIEF OPERATIONS OFFICER | NA | Control |
| ULRICH, JOYCE LOUISE | I | CHIEF OPERATIONS OFFICER | NA | Control |
| ULRICH, JOYCE LOUISE | I | CHIEF OPERATIONS OFFICER | NA | Control |
| ULRICH, JOYCE LOUISE | I | CHIEF OPERATIONS OFFICER | NA | Control |
| VERRON, CLIFF | I | CHIEF FINANCIAL OFFICER/TREASURER | NA | Control |
| WEAVER, BARBARA LITTLE | I | CHIEF COMPLIANCE OFFICER | NA | |
| CITIGROUP GLOBAL MARKETS HOLDINGS INC. | DE | OWNER | E | Control |
| LEGG MASON, INC. | DE | STOCKHOLDER | E | Control |
| LEGG MASON, INC. | DE | STOCKHOLDER | E | Control |
| LEGG MASON, INC. | DE | STOCKHOLDER | E | Control |
| LEGG MASON, INC. | DE | STOCKHOLDER | E | Control |
| LEGG MASON, INC. | DE | STOCKHOLDER | E | Control |
| LEGG MASON, INC. | DE | STOCKHOLDER | E | Control |
| LEGG MASON, INC. | DE | STOCKHOLDER | E | Control |
| LEGG MASON, INC. | DE | STOCKHOLDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| CITIGROUP INC. | DE | CITIGROUP GLOBAL MARKETS HOLDING INC. | E | Control |
Registrations
Federal
IA
Oct 10, 2005 REGISTERED
Notice Filings (48)
AK AL AR AZ CA CT DC DE FL GA HI IA ID IL IN KS KY LA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA RI SC SD TN TX UT VA VT WA WI WV
Address
100 LIGHT STBALTIMORE, MD 21202-1036
USA
Phone: 410-539-0000